DRAFT DOCUMENT – WORK IN PROGRESS AS OF JANUARY 18, 2009
Definitions for words in red are
located in section 5.0 of this policy.
University
of Oregon Policy – [Insert Policy Number]: Disclosure & Management of
Individual Conflicts of Interest and Commitment[1]
1.0
Overview
Every day, the University of
Oregon touches the lives of citizens in our community, our state, our nation,
and our world. Oregon’s external
engagement arises not out of serendipity, but rather through active outreach as
members of the University community strive to connect their scholarship to the
questions and issues that confront modern society. The University’s outreach manifests itself in a myriad of
activities, including research, education, technology transfer, and community
service.
The disclosure of
extra-University relationships, and the subsequent management of conflicts of interest (COI) and conflicts of commitment
(COC) (COI-C), is a natural outgrowth and necessary corollary of
external engagement. Thoughtful,
responsible management of COI-C
promotes public trust in the objectivity of University research and
education. In addition, open
disclosure and diligent management of COI-C are crucially important for compliance with the
complex body of state and federal laws, regulations, and guidelines that relate
to University activities.
2.0
Objective
The University of Oregon, its faculty and other employees
are committed to the principle of free, open, and objective inquiry in the
conduct of its teaching, research, service and administrative activities. For
the purpose of protecting both the integrity and objectivity of its faculty and
other employees in the performance of their University activities, it is the
policy of the University that conflicts of interest and commitments should be avoided where
possible, disclosed annually (or more frequently as needed), and that actual
conflicts are managed appropriately.
University faculty and other
employees owe their primary professional allegiance to the University, and
their primary commitment of time and intellectual energies should be to the
education, research, administrative, and service programs of the institution.
The specific responsibilities and professional activities that constitute an
appropriate and primary commitment will differ across Colleges, Schools,
Departments, Centers and Institutes, but should be based on a general
understanding between the faculty member or other UO employee and his or her
Supervisor, Department Chair, Dean, Vice President or Vice Provost as appropriate, per the
requirements of this policy. Conflict of commitment activities that may impede
one’s primary professional allegiance can be both internal and external in
nature.
3.0 Persons to
Whom the Policy Is Applicable
This
policy applies to full-time and part-time individuals holding unclassified
appointments including Officers of Instruction, Research, and
Administration. The conflict of interest provisions of
This policy also applies to all consultants, graduate teaching or research
fellows, student employees and other UO paid individuals involved in academic,
research, and other professional activities.
In
certain circumstances, such as purchasing and contracting, the conflict of interest provisions
of this policy are
is also applicable to classified staff.
All these groups have an obligation to become familiar with, and abide
by, the respectively relevant provisions of this policy.
4.0
Policy
Federal regulations require that,
when federal agencies fund University research or other sponsored activities
through a grant or contract, the University must examine conflicts and, where
appropriate, report them to the federal agency involved. Oregon has
several state statutes that also require disclosure, monitoring, and management
of conflicts of interest and/or
commitment. For a full list of the Federal and State regulations
implemented through and incorporated in this policy, see Section 9.0 of this
policy. The University extends
this policy to all University research
and scholarly activities regardless of the source of funding.
A conflict of interest occurs when there is a divergence or a simultaneous
engagement between an individual’s private interests and his or her
professional obligations to the University such that an independent observer
might reasonably question whether the individual’s professional actions or decisions are determined by considerations of personal
gain, financial or otherwise. The fact that an individual has a conflict does
not imply that the conflict is unethical or impermissible; it means simply that
the relation of the conflict to the individual's University activities must be carefully
examined because conflicts – real or perceived – may impair
performance of the University’s missions of teaching, research, administration
and public service, as well as jeopardize public trust and support. This examination must take place prior
to the initiation of the outside activity that may potentially cause a conflict, except as otherwise
detailed in this policy.
Conflicts of commitment usually involve issues
of allocation of time and effort, whether internal through overload activities or external, through
outside activities such as consulting, public service or pro bono work. Whenever an individual's overload or outside activities exceed the permitted
limits, or whenever a faculty or other UO employee's primary professional
loyalty is not to the UO or to their UO obligations, a conflict of commitment exists. Even part-time faculty or other UO employees
may have overload or outside activities that are in conflict or
appear to be in conflict with their University activities. While conflict of commitment/interest concerns may diminish
as the faculty or staff’s percent of full-time equivalency (FTE) lowers, they
do not disappear entirely.
4.1 Presence on UO Campuses
and Management of Conflicts of Commitment through use of One-Day-In-Seven Time: Appointment as faculty or
other employee of the University of Oregon confers the privilege and obligation
to pursue teaching, research, scholarship, and service. In addition, faculty
and other UO employees are expected to participate in the administrative duties
required by their department, center, institute, school or college. Fulfillment of these obligations
requires and presumes a 100% commitment of expertise, time, and energy.
Individuals
holding 9 month appointments do not accrue vacation time and technically must
be available during breaks, holidays, and spring break but are granted legal
holidays off. Individuals holding 12 month appointments do accrue vacation time
and can use that according to rules that govern that leave. One-day-in-seven time is neither a broad license nor
an entitlement to engage in unlimited overload or outside
activities. Rather, it permits: (a) individuals to participate in
additional, paid services for campus sponsored activities above their salaried
compensation; (b) participation in scholarly, professional and philanthropic
activities outside UO; (c) service on advisory bodies or public commissions
related to the individual’s academic or professional work; (d) travel to other
institutions or conferences for the purpose of presenting lectures, leading
seminars or workshops or visiting the laboratories of colleagues; and (e)
limited consulting that is not to the detriment of UO obligations and does not
involve prohibited compensation.
Full-time
Appointments: A full-time appointment obligates faculty to have a significant physical
presence on campus, to be accessible to students and staff, and to be available
to interact with UO colleagues throughout every quarter/semester during which
he or she is on active duty, unless the Department Chair and/or Dean and/or
Director has granted specific prior approval for extended or frequent absences
from campus. Required absences for field research and other sponsored
activities are considered part of one’s University activities, and as such, are not
considered outside
activities
for the purposes of this policy.
In general, a full-time appointee may engage in overload or outside activities
related to his or her University responsibilities one day in each seven-day
week (one-day-in-seven time) during periods of
full-time employment and during which they are meeting 100% of their University commitments and requirements as determined
by their Department Chair, Dean, and/or Director. Chairs, Deans, and Directors will use objective criteria for
determining this, such as tenure track requirements and other evaluation
criteria.
For a nine month appointee one day in each seven-day week equates
to 13 days per academic quarter or 39 days per academic year. For a 12 month appointee this equates
to 52 days per year. Use of this
time is not an entitlement and most activities will require review and
approval, as these activities are not to be undertaken without permission.
Saturdays and Sundays should be counted when using one-day-in-seven time. A
reasonable amount of averaging the time allowance over the quarters or
semesters of the period of an individual’s appointment is permissible, provided
that it does not unduly interfere with the individual's primary commitment to
their University responsibilities.
Part-time
Appointments: The one-day-in-seven time allowed is reduced to correspond
with a reduction of UO FTE. Thus, if an individual is a .5 FTE, their one-day-in-seven time becomes one day in seven during
the period under contract with the UO (for 9 month employees this would be 19.5
days; for 12 month employees, 26 days). Use of this time is not an entitlement and most activities
will require review and approval, as these activities are not to be undertaken
without permission. Saturdays and Sundays should be counted when using
one-day-in-seven time. A reasonable amount of averaging the time allowance over
the quarters or semesters of the period of an individual’s appointment is
permissible, provided that it does not unduly interfere with the individual's
primary commitment to their University responsibilities.
Classified
Staff: State law
does not extend the one-day-in-seven time privilege
to classified staff.
4.2 Conduct of Overload and/or Outside Activities: An implicit assumption
underlying the one-day-in-seven principle is that the activities engaged in are a
privilege, not a right and must not detract from a faculty or other UO
employee’s full- or part-time obligation to his or her University activities. When an overload or outside activity is engaged that detracts
from the conduct of University activities, a conflict of commitment results. For example, an individual subject
to tenure track requirements to publish two papers annually who forgoes that in
order to teach an additional paid course as an overload activity has both a conflict of
commitment and interest. Even
activities such as pro bono work, government service in the public interest, must
be managed so they do not take precedence over a faculty or other UO employee's
primary commitment to the University.
Outside activities can also
generate conflicts of interest regardless of the time involved. For example, direction of
a program of research or scholarship at another institution that could be
conducted appropriately at the University as part of the individual's normal
duties can deprive UO students and colleagues of the benefits of the individual's
primary intellectual energies, and the use of UO resources in the course of
that work is often unavoidable.
Whenever an individual is involved in research as part of
their outside activities, they must establish clear boundaries that separate their
University and outside activities, so as to avoid questions about their appropriate use of
resources and attributions of products of their work.
4.3
Intellectual Property: The
University of Oregon encourages individuals to become involved in the transfer
of knowledge and inventions from the University into the commercial marketplace. It is
an appropriate role for the University to facilitate the transfer of the
knowledge and inventions gained through academic research to applications that can
benefit the general population. Moreover, experience gained by the individual in
the course of outside activities can enhance their teaching and research or scholarship
within the University. The process of technology transfer however, can create
the potential for conflicts of interest and/or commitment, particularly when there is
opportunity for personal gain on the part of the faculty member or other UO
employee. The intent of this policy is to minimize these conflicts and provide mechanisms
for managing them when they arise.
4.4 Activities
Requiring Prior Approval: Nearly all outside activities require the
approval of one’s Supervisor, Department Chair, Director, and/or Dean prior
to initiating the activity.
In the absence of other conflict of
interest or commitment concerns, two activities that do not require prior
approval are work with professional organizations
and other academic institutions. University faculty and other employees are
encouraged to participate in scholarly, professional, and philanthropic
activities outside the University. In the absence of other conflict of interest
or commitment concerns, it is thus appropriate for individuals to accept
invitations to serve on advisory bodies or public commissions related to their
academic or professional work, as well as to travel to other institutions or
conferences for the purpose of presenting lectures, leading seminars or
workshops, or visiting the laboratories of colleagues.
All other outside
activities require prior approval as necessary by the appropriate
Supervisor, Chair, Director, Dean, Vice Provost and/or Vice President as,
including but not limited to:
(a) Acceptance of compensation from (other than standard
honoraria in one’s field of expertise for scholarly speaking engagements) or
ownership of equity in, an external entity that
carries on activities closely related to the individual’s area of work.
(b) Service in a line management position in such an external entity or participation in the day-to-day
operations of the same. Significant management roles
(those that involve supervision of the work of others and/or day-to-day
responsibility for operating decisions) in private business typically are
demanding both in terms of time and energy. It is unlikely that such roles can
be fulfilled within allowable use of one-day-in-seven
time.
Depending on the circumstances of the request it may be necessary for
faculty to take a leave of absence from their University
activities in order to take on a significant
management role in an outside entity; doing so while on sabbatical is not
generally appropriate.
(c) Service
in a key, continuing role in a private or outside public entity.
4.5 Use of UO Students, Staff or
Faculty in Outside Activities: The
integrity of the University as a community of scholars requires the free and
open exchange of ideas and the results of scholarly activities. Faculty and
other UO employees are obligated to maintain an atmosphere free from
unwarranted external influences. Students and collaborators must be able to
pursue topics of interest, have access to available information and facilities,
and be able to communicate the results of their work to other scholars and the
public. Therefore, faculty and other UO employees must ensure that:
(a) The results of research or
scholarship undertaken at the UO are disseminated on an open and timely basis
to the broader scholarly community and public.
(b) The academic activities of
students and postdoctoral scholars are not compromised by the personal
commercial interests of the faculty member; and the work of students, staff,
postdoctoral scholars and collaborators is not exploited in the course of an
individual's outside obligations.
4.6 Inappropriate Use of University Resources, Including
Facilities, Personnel, Equipment, and Information: Faculty and other UO
employees may not use University resources, including facilities, personnel,
equipment, or confidential information, except in a nominal way as part of
their outside activities or for any other non-University purposes.
Inappropriate use of University resources includes but is
not limited to:
(a) Assigning the individual's
students, staff or postdoctoral scholars University tasks for purposes of
potential or real financial gain of the individual rather than the advancement
of the scholarly field or the students' educational needs.
(b) Involvement of the individual's
students or staff in his or her outside consulting or business activities
without prior approval of the appropriate Department Chair, Director, Dean,
Vice Provost and/or Vice President.
(c) Use of an individual’s UO
office, computers, internet access, copy machines, facilities, laboratories, students
or staff when authoring textbooks, textbook materials, or other publications
when those publications are not specifically required by the individual’s
University employment.
(d) Granting external entities access to University
resources or services for purposes outside the University's missions, or otherwise
favoring external entities in an attempt to unduly influence them in their dealings
with the University.
4.7 Involvement In Procurement and
Other Transactions Between External Entities And The University: Faculty or other UO employee involvement in gifts,
sponsored projects, invention licensing, or certain procurement arrangements between the
University and external entities, where the involved faculty or other UO employee (or
members of their immediate family, which includes a spouse or dependent
children as determined by the Internal Revenue Service, or a domestic partner)
has any consulting or employment relationships with, and/or significant
financial interests in that external entity, raises particular questions of potential or apparent conflicts of interest. Situations such as these require annual disclosure, review, and approval, and may
require more frequent disclosure, review, and approval, or reduction or
elimination dependent on the given circumstance.
For this purposes of disclosure, "significant
financial interests" in an external entity means:
(a) any current or pending
ownership interests (including shares, partnership stake, or derivative
interests such as stock options) in a privately-held entity (e.g., in a "start up" company);
(b) any current or pending
ownership interests (including shares, partnership stake, or derivative interests
such as stock options) in either a non- or publicly-traded entity, amounting to
at least five percent (5%) of that entity's equity or at least $10,000 in
ownership interests (except when the ownership interest is managed by a third
party such as a mutual fund); or
(c) any income amounting to at
least $10,000 per year (other than from employment, consulting, or ownership
interests as covered above) – including but not limited to gifts, favors,
consulting relationships, honoraria, licensing or royalty income or other
personal considerations.
Where an individual is conducting or participating in human subject research, and
has any financial interest in the research
or education sponsor (or a member of the immediate family has such an
interest), that interest must be disclosed annually as well as updated at the
time of research proposal, modification and renewal, regardless of its value
(see Section 4.8, below).
Common sense must prevail in the interpretation of these
provisions. That is – no matter what dollar amounts are involved –
if an independent observer might reasonably question whether the individual's
professional actions or decisions are determined by considerations of personal
gain, the relationship should be disclosed and approval sought for the proposed
transaction.
4.8 Situations Raising Questions of
Scientific Objectivity: In cases where the
University has approved arrangements as described in Section 4.7 above,
or in human subject research in which the faculty member or other UO employee has any
personal financial interests (including consulting or employment
relationships), the scientific objectivity of the individual’s activities may
be called into question.
To address these situations, oversight may be established by
the Conflict of Interest and
Commitment Committee (COICC) in conjunction with the Committee for Protection of Human
Subjects (CPHS), as needed. Such
oversight may consist of (but is not limited to): review of the appropriateness
of the proposed activity, monitoring the conduct of the activity (including use
of students and postdoctoral scholars), and periodic, random as well as for-cause
monitoring conducted by the Office for Responsible Conduct of Research (ORCR). Randomized, not-for-cause monitoring
will be undertaken by the ORCR separate from or in addition to any other
requirements an oversight committee may deem necessary. Under appropriate circumstances, the
University may require that the individual divest any financial interest or not
perform the work, either at the University or with the external entity, as
appropriate.
4.9
Training and Education: All faculty and other
UO employees engaged in overload
and/or outside
activities,
or having a relationship with one or more external entities as defined
in this policy will attend a COI-C training session. Training
sessions will be facilitated by colleges, schools, departments, institutes and
centers, and will be conducted by the ORCR and Academic Affairs.
All persons to whom this policy is
applicable will complete tri-annual refresher COI-C training, or as policy/procedures are
revised. This training may or may
not be web-based. Faculty and
other UO employee completion of the tri-annual or as required COI-C training will be certified
by the ORCR.
5.0
Definitions
Conflicts of Commitment
– are those overload or outside activities which conflict or appear to
conflict with a faculty member or other UO employee’s University activities of
teaching, research, service and administration.
Conflicts of Interest
– according to ORS 244.020(8) conflicts of interest or potential
conflicts of interest are any action or any decision or recommendation by a
person acting in a capacity as a public official, the effect of which would be
to the private pecuniary benefit or detriment of the person or a member of the
person's household, or a business with which the person or a member of the
person's household is associated, unless the pecuniary benefit or detriment
arises out of the following: (a) An interest or membership in a particular business,
industry, occupation, or other class required by law as a prerequisite to the
holding by the person of the office or position. (b) Any action in the person's
official capacity which would affect to the same degree a class consisting of
all inhabitants of the state, or a smaller class consisting of an industry,
occupation, or other group including one of which or in which the person or a
member of the person's household or business with which the person is
associated, is a member or is engaged.
Disclosures –
are the annual or periodically updated, written description of outside
activities that constitute (or appear to constitute) conflicts of interest or
commitment. Disclosures are
required more frequently than annually if an individual’s activities materially
change in between annual disclosure dates.
External Entities
– can be any or all of the following: a natural person capable of being
legally bound, sole proprietorship, corporation, partnership, limited liability
company or partnership, limited partnership, for-profit or nonprofit
corporation, unincorporated association, business trust, two or more persons
having a joint or common economic interest, or any other person with legal
capacity to contract, or a governmental agency or governmental subdivision.
Faculty and other UO employees – are individuals holding unclassified appointments, generally
identified as Officers of Instruction, Officers of Research and Officers of
Administration.
Human Subject Research
– at the UO includes all activities that are "research," and
involve, "human participants" according to The Common Rule, and
includes all activities that are "research" according to FDA
regulations. According to The Common Rule, "research" is a systematic
investigation, including clinical investigations, research development, testing
and evaluation, designed to develop or contribute to generalizable knowledge
and "human participants" are living individuals about whom the
investigator conducting research obtains a) data through intervention or
interaction with the individual or b) identifiable private information (45 CFR
Part 46). According to FDA regulations "research" is any experiment
that involves a "test article," that is any drug or biological
product for human use, a medical device for human use, a food additive or color
additive intended for human use, an electronic products or any other article
subject to regulation by the Food, Drug, and Cosmetic Act; and one or more
individuals who are either recipients of the test article or controls; and that
either involves a drug or medical device (other than the use of an approved
drug or device in the course of medical practice) or the results of the
research are intended to be later submitted to, or held for inspection by, the
Food and Drug Administration as part of an application for a research or
marketing permit.
Inventions – or
technological improvements include any new and useful process, machine, device,
manufacture, or composition of matter, and any new and useful improvement;
Writings, lectures, study guides, books, textbooks, journal articles,
glossaries, laboratory manuals, proposals, musical or dramatic compositions,
listings, tables, charts, graphs, figures, manuals, codes, software,
unpublished scripts, and programmed instructional materials; video and audio
recordings, live video and audio broadcasts, CD’s, DVD’s, cassettes, tapes,
films, filmstrips, slides, transparencies, and other reproductions and visual
aids; and, computer programs and computer-assisted courseware. These are listed in IMD’s 6.205 – 6.255: Licensing, Patent,
Educational, and Professional Materials Development, and Copyright Policies and
Procedures.
Material Change
– is a substantive change in the information disclosed annually. Examples of material changes include
but are not limited to: a single consulting job that results in pecuniary
benefit equal to or exceeding $25,000, the offer to take on a line management
role in an external entity not previously disclosed or approved, ownership of
an external entity greater than 5% not previously disclosed or approved.
One-day-in-seven
Time – is a
privilege granted through ORS 351.067
permitting individuals holding an unclassified appointment to engage in overload
and/or outside activities one day in each seven day week that are related to
the area of expertise for which the individual was hired. A limited amount of averaging or
aggregating of days is permitted so long as it is not to the detriment of an
individual’s UO obligations and does not involve prohibited compensation. The
number of allowed days is prorated for appointments that are less than 1.0 FTE.
Outside Activities
– are those activities engaged in by UO faculty and other UO employees,
whether or not compensated, that are not specifically a part of their
University activities. Such
activities include (a) participation in scholarly,
professional and philanthropic activities outside UO; (b) service on advisory
bodies or public commissions related to the individual's academic or professional
work; (c) travel to other institutions or conferences for the purpose of
presenting lectures, leading seminars or workshops or visiting the laboratories
of colleagues; and (d) limited consulting. See ORS 351.070 for
more specific details.
Overload
Activities –
are additional, (non-stipend) paid services for campus sponsored activities
above an individual’s salaried compensation. Typical overload activities include: continuing education,
extension services, internal consulting, non-emergency paid teaching overloads,
and similar services.
Professional Organizations – are those scholarly and professional entities which promote
knowledge in one’s area of expertise.
Start-up Company
– is a for- or not-for-profit entity founded in whole or in part upon
University generated knowledge or inventions.
Written Management Plans – are the annually or more frequently updated, detailed plans
for resolution/mitigation of a conflict of interest, upon which the faculty
member and/or other UO employee as well as his or her supervisor, Department
Head, Director, Dean Vice Provost and Vice President (as appropriate), have
agreed.
University Activities
– Those teaching, research, administration, and service activities that
are a part of a faculty member or other UO employee’s obligations.
6.0
Roles and Responsibilities
The Business Affairs Office will review, manage, and approve those disclosures or
portions of disclosures submitted by faculty or other UO employees who are
authorized to contract or purchase on behalf of the University.
The Conflict of Interest and Commitment Committee (COICC) is a
UO committee comprised of faculty members and staffed by ORCR personnel. The COICC reviews COI-C disclosures deemed highly complex, and may
recommend disclosure, mitigation or elimination strategies as appropriate. The COICC also reviews faculty appeals of management plans
and/or compliance and enforcement sanctions of this policy, and makes
recommendations to University administration based on their review. The composition of and charge to the
COICC are detailed in
its charter.
Faculty and other required UO Employees must disclose on an annual basis (or as needed), certifying
that they are following the University’s policies related to conflict of
interest and commitment.
Faculty and other UO employees must disclose information about their (and their
immediate family members') interests in external
entities that are sponsors of their teaching
or research programs, or that are otherwise involved in current, proposed or
pending transactions with the University in which they are involved. In
addition, faculty and other UO employees must disclose if they have served as
principal investigators or managers of outside research or business activities
in their professional fields, or if they have involved their students or staff
in their outside consulting or business activities. Faculty and other UO
employees supply this information for review by the University and for such
other purposes as are required by law, contract or regulation. The disclosure form and instructions
are available online at http://orcr.uoregon.edu. In addition to annual disclosure, faculty and other UO
employees must disclose more frequently should the circumstances which they
disclosed materially change prior to their next annual disclosure.
The Office of General Counsel advises the Conflict of Interest and Commitment Committee and the UO administration
in the conflict of interest and
commitment review and management processes. In conjunction with the appropriate Dean, Director, Vice
President and Vice Provost as well as the ORCR, the Office of General Counsel
facilitates compliance and enforcement of this policy.
The Office for Protection of Human Subjects (OPHS) is responsible for including conflict of interest and commitment certification
questions and statements in all new, modifying and continuing protocol
applications; as well as forwarding faculty or other UO employee’s responses to
the ORCR for review as warranted.
The Office for Research Services and Administration
(ORSA) is responsible for including conflict
of interest and commitment
certification questions and statements in all new and renewal grant and
contract submissions; as well as forwarding faculty or other UO employee’s responses
to the ORCR for review as warranted.
The Office for Responsible Conduct of Research (ORCR) provides assistance and guidance to faculty and other UO
employees, Supervisors, Department Chairs, Directors, Deans, Vice Provosts, Vice
Presidents, and the Conflict of Interest and Commitment Committee throughout the conflict of
interest/commitment
disclosure, review, approval and management processes. The ORCR provides unit, departmental
and college level training as well as training and guidance materials in
conflict of interest/commitment
regulations, requirements, and obligations. The office also serves as the primary reviewer of annual and
periodic disclosures and has delegated authority to approve those disclosures
that reveal no activities or relationships that appear to create COI-C as well as those
disclosures revealing COI-C
that can be managed by disclosure alone.
The ORCR triages those disclosures that require management or mitigation
to the appropriate Supervisor, Director, and/or Department Chair for their
review, creation of Written Management Plans and approval. The ORCR holds the institutional copy
of all written management plans, and administratively supports the COICC. The ORCR conducts random and for cause monitoring of COI-C management activities and prepares
the annual report to the OUS as well as any other reports required by state or
federal oversight agencies. In
conjunction with the appropriate Dean, Director, Vice President, and Vice
Provost as well as General Counsel, the ORCR facilitates compliance and enforcement
of this policy.
The Office of Technology Transfer is responsible for including conflict of interest and commitment certification
questions and statements in all invention disclosures; as well as forwarding faculty
or other UO employee’s responses to the ORCR for review as warranted.
The Office of Veterinary Services and Animal Care is responsible for including conflict of interest and commitment certification
questions and statements in all new, modifying and continuing protocol
applications; as well as forwarding faculty or other UO employee’s responses to
the ORCR for review as warranted.
The Oregon University System receives the annual conflict of interest/commitment report
from the UO President, promulgates relevant policy at the system level, and investigates
appeals of the UO Conflict of Interest and Commitment Committee review and management processes as needed.
The UO President presents the annual conflict of interest/commitment report
to the OUS Board.
Supervisors, Department Chairs, Directors and Deans are responsible to have their faculty and other UO
employees disclose potential conflicts of interest/commitment on an annual basis, or more frequently
should circumstances warrant. They
are also responsible for the
timely review and approval of annual (or periodic) disclosures identified by
the ORCR as requiring some form of monitoring, management mitigation or
elimination plans (in consultation with the appropriate Vice Provost and or
Vice President). They are also responsible to facilitate training and education
efforts for their respective units.
Directors and Deans in conjunction with the appropriate Vice President
and Vice Provost as well as the Office of General Counsel and the ORCR
facilitate compliance and enforcement of this policy.
Vice Provosts and Vice Presidents are responsible for final review and approval of all
conflict of interest/commitment
disclosures within their areas of authority requiring any kind of monitoring, management,
mitigation or elimination plans. Vice
Presidents and Vice Provosts in conjunction with the appropriate Dean and/or
Director, as well as General Counsel and the ORCR facilitate compliance and
enforcement of this policy. The Offices
of the Senior Vice Provost for Academic Affairs (SVPAA) and the Vice President for Research and
Graduate Studies (VPRGS) will have the
most conflict of interest/commitment
concerns for faculty and other employees both within and overlapping their
respective areas of authority.
7.0
Procedures
7.1 Annual Conflict of Interest/Commitment Disclosure Submissions – At the beginning of each calendar year, all
faculty and other required UO employees will submit a Conflict
of Interest and Commitment
Disclosure Form.
Faculty members and other UO employees have a 30 day period in which to
submit the form. Deans and/or
their designee are responsible for ensuring annual disclosure by all faculty and
other UO employees that report to them.
For those faculty that do not have an academic appointment but belong to
a UO Center or Institute, their Directors are responsible to ensure their
annual disclosure. Administrative
Directors, Assistant/Associate Vice Presidents, and Vice Presidents are
responsible to ensure annual disclosure by all other UO employees holding
unclassified appointments that report to them.
7.2 Material Change and Prior Approval Disclosure
Submissions – Faculty and other required
UO employees may need to submit disclosures of activity more frequently than
annually, should the information disclosed materially or substantively change
throughout the year or if they desire to enter into an activity
or relationship that requires prior approval. See Section 4.4, 4.5,
4.7 and 4.8
for examples of activities require prior approval. Faculty members and other UO employees sign
(physically or electronically) their disclosures prior to submission.
7.3 Review and Triage of COI-C Disclosure
– The ORCR is responsible for preliminary review and triage of all
periodic and annual disclosures.
Disclosures will be triaged into five categories:
a) Level 1: Those confirmed
disclosures with no overload, outside
activities, or income derived from external entities which therefore have
no conflicts of interest or
commitment to report. The
ORCR will approve these and then send a list of these faculty/personnel to the
relevant Supervisor, Department Chair, Director, and/or Dean and to the Vice
President for Research and the Senior Vice Provost for Academic Affairs confirming
completion of annual disclosure requirements for those faculty/personnel.
b) Level 2: Those confirmed
disclosures for which the act of disclosure is deemed by the ORCR to be
sufficient to manage the potential or actual conflict of interest and/or commitment. Examples of this include but are not
limited to, textbook royalties received from published materials whose creation
utilized no more than nominal UO resources; total income from overload or outside
activities that does not exceed $10,000; and total equity from relationships
with external entities that does not exceed 5%. The ORCR will approve these and then send a list of these
faculty/personnel to the relevant Supervisor, Department Chair, Director,
and/or Dean and to the Vice President for Research and the Senior Vice Provost
for Academic Affairs confirming completion of annual disclosure and management
requirements for those faculty/personnel.
c) Level 3: Those disclosures for
which the ORCR deems a written management plan is necessary. Examples include
but are not limited to receipt of total income from outside activities that
exceeds $10,000; receipt of total equity from relationships with external
entities that exceeds 5%; line management for, ownership in, significant
relationship with, an external entity; employment of students that the individual
teaches or advises; employment of faculty or staff that the individual
supervises. These disclosures will be forwarded back to the individual as well
as to the relevant Department Head, Director or Dean for development of a
written management plan. Disclosures submitted by Deans will be sent back to
them as well as to the relevant Vice President and/or Senior Vice Provost for
development and approval of a written management plan.
d) Level 4: Those disclosures whose
potential conflict of interest or
commitment is deemed so complex that a Dean, the ORCR, a Vice President
or a Senior Vice Provost desires the disclosed information to be reviewed by
the Conflict of Interest and
Commitment Committee.
e) Purchasing and Contracting COI-C Review: Those disclosures
submitted by faculty or other UO employees authorized to engage in contracting
or purchasing on behalf of the University of Oregon. The ORCR will forward
these disclosures to the Business Affairs Office for review, management, and
approval.
7.4 Supervisor, Department Chair, Director and Dean COI-C Review and Written
Management Plans – Those disclosed
activities that require management beyond the act of disclosure are forwarded
back to the faculty member or other UO employee and their relevant supervisor,
who are responsible to create a Written Management Plan. Management plans may include
monitoring, reduction and elimination.
Some situations may be deemed too conflicted and the proposed activity
may be disallowed. Once a
management plan has been developed and approved, the Supervisor, Department
Chair, Director and/or Dean sign it (physically or electronically) and the
faculty member or other UO employee resubmits the disclosure and proposed
management plan to the ORCR.
7.5 Vice Provost/Vice President COI-C Disclosure and Management
Plan Review – The ORCR works with
the appropriate Vice President/Vice Provost and/or Senior Vice Provost to
review and approve submitted disclosures that require a management plan. Some
situations may be deemed too conflicted and the proposed activity may be
disallowed. The ORCR notifies the individual,
relevant Supervisor, Department Chair, Director, and/or Dean of approval or disapproval
of the annual disclosure and management plans.
7.6 Business Affairs Office Review – The BAO will review, approve, and require
written management plans (including management, reduction, or elimination of
the activities and/or relationships causing conflict of interest or commitment)
for those faculty or other UO employees authorized to engage in contracting or
purchasing on behalf of the University of Oregon.
7.7 Involvement of the Conflict of Interest and
Commitment Committee in Management Plan Determinations – Occasionally a disclosed situation of such
complexity may arise that the approving Dean, Director, Vice President and/or
Vice Provost and/or the ORCR will determine that further consideration is
required. Via the ORCR, they will
forward such disclosure to the COICC. The COICC
may recommend further refinement to the proposed management plan. Some situations may be deemed too
conflicted and the recommendation may be to disallow the proposed
activity. COICC recommendations will be
forwarded to the disclosing individual and the Dean, Director, Vice President
and/or Vice Provost who requested the review.
7.8 Appeal Process – Should a faculty member or other UO employee
feel their disclosed COI-C
or proposed management plan has not been fairly reviewed, they may submit a COI-C
Review Appeal form to the COICC via the ORCR. The COICC
will have 60 days to review and make a recommendation on the appeal. Should the faculty member or other UO
employee disagree with the results of the appeal, per Oregon Administrative
Rule 580-021-0025, they may
appeal their case to Oregon University System Chancellor or Director of
Internal Audit, who will investigate the case.
7.9
Compliance and Enforcement – The Office for Responsible Conduct of
Research in conjunction with the Office of General Counsel is responsible for
overseeing the implementation and enforcement of this policy. The ORCR and the
Office of General Counsel will review all violations of this policy, including:
(a) failure to comply with the disclosure process (by refusal to respond, by
deliberately responding with incomplete, inaccurate, or misleading information,
or otherwise); (b) failure to remedy conflicts of interest; and (c) failure to
comply with a prescribed management or monitoring plans. Such cases may be
forwarded to the COICC for
review and recommendation.
Penalties for deliberate violations of this
policy will be adjudicated in accordance with applicable disciplinary policies
and procedures of the University in the Faculty
Handbook and/or any body of
documents that represents or replaces it or the SEIU Labor Agreements. Possible penalties may include but are not limited to: reimbursement
to the University for misused resources; formal admonition; inclusion in a
faculty member or other UO employee’s personnel file a copy of a reprimand or
warning letter from the appropriate dean or director reflecting unsatisfactory
performance; ineligibility of a faculty member or other UO employee to apply
for outside funding; revocation of the ability to seek approval from the Committee
for Protection of Human Subjects and/or the Institutional Animal Care and Use
Committee; revocation of the ability to supervise graduate students;
non-renewal of appointment; and up to dismissal from employment.
7.10 Annual COI-C Report to OUS – Internal
Management Directive 4.015(9) provides that the institutional president
report to the Chancellor's Office by August 31 of each year any change in
institutional policy on outside activities and evidence of procedures followed
in monitoring faculty and family acceptance of compensation and equity for
outside activities of faculty members.
The ORCR will prepare this report on behalf of the President’s office.
7. 11 Other Reporting Requirements – The ORCR will be responsible for compiling
and reporting any COI-C
related reports that may be required by any federal or other oversight
agencies. The ORCR will do this in
conjunction with the appropriate Vice President , Vice Provost and/or Senior
Vice Provost, the Chief Financial Officer, the Provost, President and the
Office of General Counsel.
8.0
Related Policies and Documents
Policies
9.0
References
Federal References
State References
10.0
Contacts
Please direct any questions you may have regarding this
policy to the Office for Responsible Conduct of Research at orcr@uoregon.edu.
11.0
Approvals
University Policy # __ Disclosure and Management of Individual Conflicts of Interest and Commitment Responsible Executive Assistant Vice President, Responsible Conduct of
Research Responsible Office Office for Responsible Conduct of Research Approval by Vice President, Research & Graduate Studies Approval by Provost Originally Issued December 21, 1991 Updated N/A Revised October 1, 1995; ?? 2001; TBA
12.0
Appendix
Related Documents
[1] Portions of this policy have been adapted from and are used with the permission of Stanford University.